Who We Are:

TradeStation is an online brokerage firm seeking to level the playing field for self-directed investors and traders, empowering them to claim their individual financial edge.  At TradeStation, we're continuously pushing the boundaries of what's possible, encouraging out-of-the-box thinking and relentless search for innovation.

What We Are Looking For:

TradeStation Europe is a wholly owned subsidiary of TradeStation Group. The firm is seeking to provide on-line brokerage services as a MiFID investment services firm to self-directed traders and institutional customers in the Netherlands, and through passporting to customers across Europe. We are looking for a Compliance Officer to be based out of our office in Amsterdam. The Officer will report directly to the COO of TradeStation Europe.

The Compliance Officer will assume primary responsibility for ensuring TSEU’s compliance with MIFID and related regulatory requirements. The Compliance Officer will evaluate business risk in accordance with policies, goals and objectives established by the organization. The Compliance Officer is also accountable for the design and execution of the compliance program for the organization and to assure that a strong culture of compliance is maintained at the highest level.

The ideal candidate should have an entrepreneurial spirit and take a hands-on approach in his/her everyday dealings within the organization.

What You’ll Be Doing: 

• Ensure organizational compliance with local regulatory and AML regulations 
• Maintain open and constructive communications with its regulators, the AFM and DNB, as well as additional European regulators as required 
• Manage and execute TradeStation Europe’s Compliance Monitoring Plan 
• Manage and ensure TradeStation Europe has up to date policies and procedures to fulfil its regulatory requirements  
• Manage, process and maintain company registrations and regulatory filings 
• Plan, manage, and ensure delivery of relevant employee training sessions 
• Respond to regulatory requests and oversee regulatory examinations and investigations 
• Track laws and regulations that might affect the organization's policies and implement necessary changes 
• Collaborate with Risk Management to complete ongoing SIRAs 
• Work closely with Group Compliance, Risk Management, Internal Audit and Legal Departments, as appropriate

The Skills You Bring: 

• Deep knowledge of Financial Regulations in the Netherlands and Europe relevant to TSEU’s business 
• Strong experience and understanding of listed / OTC markets, specifically US equities, futures, options, futures options and bonds including compliance related to marketing and communications, account opening, onboarding and funding, execution, clearing, settlement, and reporting 
• Ability to understand the technical aspects of an online trading business and the compliance systems which support it 
• Must possess strong communication, organizational and analytical skills

Minimum Qualifications: 

• Bachelor’s degree required 
• 7+ years of financial markets compliance related experience 
• Desired Qualifications: 
• Experience of brokerage, banking and/or on-line trading businesses

What We Offer: 

• Collaborative work environment 
• Competitive Salary 
• Annual bonus  
• Comprehensive benefits for you and your family starting Day 1 
• Flexible working environment